Publication number | US7409015 B1 |

Publication type | Grant |

Application number | US 11/288,270 |

Publication date | Aug 5, 2008 |

Filing date | Nov 29, 2005 |

Priority date | Nov 29, 2005 |

Fee status | Paid |

Publication number | 11288270, 288270, US 7409015 B1, US 7409015B1, US-B1-7409015, US7409015 B1, US7409015B1 |

Inventors | Saswat Misra, Ananthram Swami |

Original Assignee | The United States As Represented By The Secretary Of The Army |

Export Citation | BiBTeX, EndNote, RefMan |

Patent Citations (16), Non-Patent Citations (39), Referenced by (6), Classifications (8), Legal Events (3) | |

External Links: USPTO, USPTO Assignment, Espacenet | |

US 7409015 B1

Abstract

A cutoff rate may be used to determine an optimal binary input distribution for a communications system which operates with imperfect receiver channel state information (CSI) at the receiver. First, the cutoff rate may be evaluated and used to analyze the optimal binary input as a function of CSI quality and receiver Signal to Noise Ratio (SNR). Next, limiting distributions of BPSK and On-Off Keying (OOK) may be examined and an analytic design rule for adaptive modulation between these two inputs (as the receiver CSI changes) may be derived. The modulation scheme may provide near optimal performance by employing only these limiting distributions rather than the full spectrum of binary inputs. Finally, the results may be used to design an adaptive modulation scheme for Pilot Symbol Assisted Modulation (PSAM) systems.

Claims(10)

1. A method of communications comprising:

determining a cutoff rate of a communication channel by analyzing partial channel state information (CSI and signal to noise ration (SNR) of a receiver, and

selecting a modulation scheme for the communication channel based on the level of partial CSI and SNR through maximization of the cutoff rate and by applying analysis of causal and noncausal estimators to the model of the communication channel, wherein the modulation scheme is applied to Pilot Symbol Assisted Modulation (PSAM) communications and to a channel correlation model of the communication channel.

2. A system for communications comprising:

a receiver configured to sample a transmission on a communications channel;

a processor configured to determine the cutoff rate of the communication channel corresponding to a sample of a transmission on the communication channel by analyzing the partial channel state information (CSI) and signal to noise ratio (SNR) of the receiver, and to adapt the modulation scheme for the communication channel based on the level of partial CSI and SNR through maximization of the cutoff rate wherein the adaptive modulation scheme is applied to Pilot Symbol Assisted Modulation (PSAM) communication and is adjusted by applying analysis of causal and noncausal estimators to the model of the communication channel.

3. A method of communications comprising:

determining a cutoff rate of a communication channel by analyzing partial channel state information (CSI) and signal to noise ration (SNR) of a receiver, and

selecting a modulation scheme for the communication channel based on the level of partial CSI and SNR through maximization of the cutoff rate wherein the cutoff rate (R_{O}) is determined from equation (3):

4. The method of claim 3 , wherein the selection of the modulation scheme comprises selecting between binary phase shift key (BPSK) modulation and on-off key (OOK) modulation for the communication channel.

5. A system for communications comprising:

a receiver configured to sample a transmission on a communications channel;

a processor configured to determine the cutoff rate of the communication channel corresponding to a sample of a transmission on the communication channel by analyzing the partial channel state information (CSI) and signal to noise ratio (SNR) of the receiver, and to adapt the modulation scheme for the communication channel based on the level of partial CSI and SNR through maximization of the cutoff rate wherein the cutoff rate (R_{o}) is determined from equation (3):

6. The system of claim 5 , wherein the processor configured to adapt the modulation scheme selects between binary phase shift key (BPSK) modulation and on-off key (OOK) modulation for the communication channel.

7. A wireless radio comprising:

a receiver configured to sample a transmission on a communications channel; and

a processor configured to determine the cutoff rate of the communication channel corresponding to a sample of a transmission on the communication channel by analyzing the partial channel state information (CSI) and signal to noise ratio (SNR) of the receiver, and to adapt the modulation scheme for the communication channel based on the level of partial CSI and SNR through maximization of the cutoff rate wherein the cutoff rate (R_{O}) is determined from equation (3):

8. The wireless radio of claim 7 , wherein the processor configured to adapt the modulation scheme selects between binary phase shift key (BPSK) modulation and on-off key (OOK) modulation for the communication channel.

9. An adaptive modulation system for communications comprising:

means for determining a cutoff rate of a communication channel by analyzing the partial channel state information (CSI) and signal to noise ratio (SNR) of a receiver; and

means for selecting a modulation scheme for the communication channel based on the level of partial CSI and SNR through maximization of the cutoff rate wherein the cutoff rate (R_{O}) is determined from equation (3):

10. The adaptive modulation system of claim 9 , wherein the means for adapting a modulation scheme selects between binary phase shift key (BPSK) modulation and on-off key (OOK) modulation for the communication channel.

Description

The invention described herein may be manufactured, used, and licensed by or for the United States Government.

The present disclosure is generally related to communications and, more particularly, is related to a system and method for selecting the modulation scheme for a wireless communication system using the cutoff rate metric.

Binary input distributions are often assumed when studying the reliable rates of communications systems, either through channel capacity or other related metrics. The widespread analysis of binary inputs follows from their tractability and optimality, or near optimality, at low Signal to Noise Ratio (SNR) under varying amounts of receiver channel state information (CSI). Rates are considered to be reliable if the probability of decoding error can be made arbitrarily small by increasing the code length in communications over a discrete-time Rayleigh flat-fading channel. It is assumed that the transmitter can select among the class of binary input distributions, and that imperfect (or partial) CSI is available at the receiver.

When perfect receiver CSI is available, it is well known that antipodal signaling (BPSK) maximizes the capacity of this channel among binary inputs. Conversely, without CSI at the receiver, On-Off keying (OOK) has been shown to be capacity maximizing. However, when only imperfect receiver CSI is available, it is not clear as to which strategy, even among these two, is optimal.

Systems and methods for implementing an adaptive modulation scheme for use in communications systems are provided. Briefly described, a representative embodiment of such a system can be implemented as follows. A receiver is configured to sample a transmission on a communications channel, and a processor is configured to determine the cutoff rate of the communication channel corresponding to a sample of a transmission on the communication channel and adapt the modulation scheme for the communication channel corresponding to maximization of the cutoff rate.

A representative embodiment of such a method can be broadly summarized by the following steps: determining the cutoff rate of a communication channel; and adapting the modulation scheme for the communication channel corresponding to maximization of the cutoff rate.

Other systems, methods, features, and advantages of the present disclosure will be or may become apparent to one with skill in the art upon examination of the following drawings and detailed description. It is intended that all such additional systems, methods, features, and advantages be included within this description, be within the scope of the present disclosure, and be protected by the accompanying claims.

Many aspects of the disclosure can be better understood with reference to the following drawings. The components in the drawings are not necessarily to scale, emphasis instead being placed upon clearly illustrating the principles of the present disclosure. Moreover, in the drawings, like reference numerals designate corresponding parts throughout the several views.

_{o }of an exemplary embodiment versus SNR for several values of CSI quality.

The cutoff rate R_{o }is used to characterize reliable rates for wireless communications. It has been used to establish practical limits on coded performance under complexity constraints, and can often be evaluated in closed-form when the capacity cannot. Cutoff rate analysis has been used, and studies have been conducted for communications systems with full receiver channel state information (CSI) for both independent and temporally correlated fading, and for systems with no CSI (for independent fading). The cutoff rate is a lower bound on the channel capacity that also provides a bound on the random coding exponent, thereby characterizing the entire rate vs. performance curve via P_{e}≦2^{−N(R} ^{ o } ^{−R) }where R is the rate and P_{e }the probability of decoding error for length N codewords. Although certain encoding-decoding structures can achieve rates greater than R_{o }(e.g., turbo coding with iterative decoding), the cutoff rate remains a metric of interest for these systems, as well as others. For example, in sequential decoding, the cutoff rate specifies the largest rate for which decoding complexity remains finite. The cutoff rate often leads to a tractable analysis that often would not be possible through direct evaluation of the random coding exponent or the capacity.

Many papers have been written in this area of communications including the following references: I.Abou-Faycal, J. Médard, and U. Madhow, “Binary Adaptive Coded Pilot symbol Assisted Modulation over Rayleigh Fading Channels without Feedback,” *IEEE Trans. Comm*., Vol. 53, No. 6, pp. 1036-1046, June 2005; I.Abou-Faycal, M. Trott, S. Shamai, “The Capacity of Discrete-Time Memoryless Rayleigh-Fading Channels,” *IEEE Trans. Info. Theory*, Vol. 47, No. 4, pp. 1290-1301, May 2001; S. Adireddy, L. Tong, H. Viswanathan, “Optimal placement of training for frequency selective block-fading channels,” *IEEE Trans. Info. Theory*, Vol. 49, No. 8, pp. 2338-2353, August 2002; E. Arikan, “An upper bound on the cutoff rate of sequential decoding,” *IEEE Trans. Info. Theory*, Vol. 34, No. 1, pp. 53-63, January 1988; J. Baltersee, G. Fock, H. Meyr, “An Information Theoretic Foundation of Synchronized Detection,” *IEEE Trans. Comm*., Vol. 49, No. 12, pp. 2115-2123, December 2001; E. Biglieri, J. Proakis, and S. Shamai, “Fading channels: information-theoretic and communication aspects,” *IEEE Trans. Info., Theory*, Vol. 44, No., 6, pp. 2619-2692, October 1998; X. Cai and G. Giannakis, “Adaptive PSAM accounting for channel estimation and prediction errors,” *IEEE Trans. Wireless Comm*., Vol. 4, No. 1, pp. 246-256, January 2005; J. K. Cavers, “An analysis of pilot symbol assisted modulation for Rayleigh fading channels [Mobile Radio],” *IEEE Trans. Veh. Tech*., Vol. 40, No. 4, pp. 686-693, November 1991; J. K. Cavers, “Variable-Rate Transmission for Rayleigh Fading Channels,” *IEEE Trans. Comm*., Vol. 20, No. 2, pp. 15-22, February 1972; R. R. Chen, B. Hajek, R. Koetter, and U. Madhow, “On Fixed input distributions for noncoherent communication over high SNR Rayleigh Fading Channels,” *IEEE Trans. Info. Theory*, Vol. 50, No. 12, pp. 3390-3396, December 2004; M. Dong, L. Tong, and B. Sadler, “Optimal insertion of pilot symbols for transmissions over time-varying flat fading channels,” *IEEE Trans. On Signal Processing*, Vol. 52, No. 5, pp. 1403-1418, May 2004; X. Dong and L. Xiao, “Symbol error probability of two-dimensional signaling in Ricean fading with imperfect channel estimation,” *IEEE Trans, Vehicular Tech*., Vol. 54, No. 2, March 2005; R. Gallager, *Information Theory and Reliable Communication*. John Wiley and Sons, 1968; M. Garcia and J. Paez-Borrallo, “Tracking of time misalignments for OFDM systems in multipath fading channels,” *IEEE Trans. Consumer Electronics*, Vol. 48, No. 4, pp. 982-989, November 2002; J. M. Geist, “The Cutoff Rate for On-Off Keying,” *IEEE Trans. Comm*., Vol. 39, No. 8, pp. 1179-1181, August 1991; D. Goeckel, “Adaptive Coding for Time-Varying Channels Using Outdated Fading Estimates,” *IEEE Trans. Comm*., Vol. 47, No. 6, pp. 844-855, June 1999; B. Hassibi and B. Hochwald, “How much training is needed in multiple-antenna wireless links?,” *IEEE Trans., Info. Theory*, Vol. 49, No. 4, pp. 951-963, April 2003; A. O. Hero and T. L. Marzetta, “Cutoff rate and signal design for the quasi-static Rayleigh fading space-time channel,” *IEEE Trans. Info. Theory*, Vol. 47, No. 6, pp. 2400-2416, September 2001; J. Huang and S. Meyn, “Characterization and Computation of Optimal Distributions for Channel Coding,” *Proc. *3^{th } *Annual Conference on Information Sciences and Systems*, March 2003; W. C. Jakes, Jr., *Microwave Mobile Communication*, New York: Wiley 1974; S. Jamali, and T. Le-Ngoc, *Coded*-*Modulation Techniques for Fading Channels*. Kluwer Publishers, 1994; W. Kuo and M. P. Fitz, “Frequency offset compensation of pilot symbol assisted modulation in frequency flat fading,” *IEEE Trans. Comm*., Vol. 45, No. 11, pp. 1412-1416, November 1997; K. Leeuwin-Boulle and J. C. Belfiore, “The cutoff rate of time-correlated fading channels,” *IEEE Trans. Info. Theory*, Vol. 39, No. 2, pp. 612-617, March 1993; X. Ma, G. Giannakis, and S. Ohno, “Optimal training for block transmissions over double selective wireless fading channels,” *IEEE Trans. Signal Processing*, Vol. 51, No. 5, pp. 1351-1366, May 2003; T. Marzetta and B. Hochwald, “Capacity of a Mobile Multiple-antenna Communication Link in Rayleigh flat fading,” *IEEE Trans. Info. Theory*, Vol. 45, No. 1, pp. 139-157, January 1999; J. Massey, “Coding and Modulation in Digital Communications,” *In Proc. *1974 *Int. Zurich Seminar, Digital Communication*, March 1974; R. McEliece and W. Stark, “Channels with Block Interference,” *IEEE Trans., Info. Theory*, Vol. 30, No. 1, pp. 44-53, January 1984; S. Misra, A. Swami, and L. Tong, “Optimal Training for Time-Selective Wireless Fading Channels using Cutoff Rate,” submitted to *EURASIP Journal on Applied Signal Processing*, Special issue on Reliable Communications over Rapidly Time-Varying Channels; S. Ohno and G. Giannakis, “Capacity maximizing MMSE-Optimal pilots for wireless OFMD over frequency-selective block Rayleigh-fading channels,” *IEEE Trans. Info. Theory*, Vol. 50, No. 9, pp. 2138-2145, September 2004; A. Saleh and J. Salz, “On the Computational Cutoff Rate, R_{o}, for the Peak-Power-Limited Gaussian Channel,” *IEEE Trans. Comm*., Vol. 35, No. 1, pp. 13-21, January 1987; S. Shamai, I. Bar-David, “The capacity of average and peak-power-limited quadrature Gaussian channels,” *IEEE Trans. Info. Theory*, Vol. 41, No. 4, pp. 1060-1071, July 1995; L. Tong, B. Sadler, and M. Dong, “Pilot-Assisted Wireless Transmissions,” *IEEE Signal Processing Magazine*, pp. 12-25, November 2004; S. Verdú, “Spectral efficiency in the Wideband Regime,” *IEEE Trans. Info. Theory*, Vol. 48, No. 6, pp. 1319-1343, June 2002; and S. Verdú, “On Channel Capacity per Unit Cost,” *IEEE Trans., Info. Theory*, Vol. 36, No.5, pp. 1019-1030, September 1990; which are incorporated by reference.

In this context, **20** and receiver **30**. Communication system **10** may be implemented as a wireless radio, or other communication device. Such a communication device may include many wireless communication devices, including computers (desktop, portable, laptop, etc.), consumer electronic devices (e.g., multi-media players), compatible telecommunication devices, personal digital assistants (PDAs), or any other type of network devices, such as printers, fax machines, scanners, hubs, switches, routers, set-top boxes, televisions with communication capability, etc.

Receiver **30** relays the received communications to processor **40**, which may perform an adaptive modulation algorithm **60** contained in memory **50**. Memory **50** may be contained within processor **40**, or located elsewhere internal to or external to the system. Processor **40** may include, but is not limited to, a digital signal processor (DSP), a microprocessor (MCU), a general purpose processor, and an application specific integrated circuit (ASIC), among others. After adaptive modulation algorithm **60** is performed, communications are transmitted by transmitter **70** using a modulation scheme derived with adaptive modulation algorithm **60**.

More specifically, a Rayleigh fading channel with imperfect receiver CSI may be introduced and the corresponding cutoff rate may be examined under binary signaling using the normalized variance of the channel estimate, termed the CSI quality. The optimal binary input may be analyzed as a function of the SNR and CSI quality available at the receiver. The cutoff rate optimality of the limiting distributions, BPSK and On-Off Keying may be established to develop an analytic design rule that allows adaptive modulation between these distributions based on the receiver CSI quality. A modulation scheme may be devised that employs only these limiting distributions, rather than the full spectrum of binary inputs. An explicit Pilot Symbol Assisted Modulation (PSAM) front-end may be used to illustrate how results from the analysis can be applied to design an adaptive modulation scheme. Temporal correlation may be included in the channel model, and the cutoff rate may be determined under a PSAM scheme with minimum mean square error (MMSE) estimation. Adaptive modulation strategies, switching between just BPSK and equiprobable-OOK, may achieve optimal binary signaling for moderate (≈0 dB) to large SNR. Switching between just BPSK and generalized-OOK is nearly optimal for all SNR.

The design of higher order inputs or optimal inputs when the channel is peak-constrained is not considered herein. Instead, the focus is on the cutoff rate (i) to study the behavior of the optimal binary inputs when only imperfect CSI is available, and (ii) to apply this analysis to the design of a tractable adaptive modulation scheme for PSAM based communications systems.

Referring now to **100**, a transmission is sampled. This sample is used to determine the cutoff rate in block **110**. In block **120**, modulation scheme is adapted corresponding to the maximization of the cutoff rate determination of block **110**. Embodiments of such a communication process include, but are not limited to a wireless radio, a cellular phone, wireless sensor networks, and wireless portable digital assistants.

**100** and the cutoff rate is determined **110**. To adapt the modulation scheme, first, in block **200**, a model or estimation of the communication channel is generated. Then, in block **210**, the modulation scheme is adapted to maximize the cutoff rate as determined in block **110** for the model or estimation scheme that was generated in block **200**. A detailed analysis of each of the steps is provided below.

The following notation and definitions are used herein: x≈CN(μ,σ^{2}) denotes a complex Gaussian random variable χ with mean μ and with independent real and imaginary parts, each having variance σ^{2}/2; |A| is the magnitude of the complex number A; E[.] is the expectation operator; and superscript “H” denotes complex conjugation.

In one embodiment, single-user communications are considered over a time-varying Rayleigh flat-fading channel. The received signal y_{k }may be expressed by

*y* _{k} *=√{square root over (E)}h* _{k} *s* _{k} *+n* _{k} (1)

were k denotes discrete time, h_{k}≈CN(0,σ_{h} ^{2}) models independent and identically distributed (i.i.d.) fading, E is the average symbol energy used at the transmitter, and n_{k}=CN(0,σ_{N} ^{2}) models additive white Gaussian noise (AWGN). The binary channel input s_{k}ε{A,−B} may be assumed to be real-valued, without loss of generality, and subject to a unit-energy constraint pA^{2}+(1−p)B^{2}=1, where 0≦p≦1 is the probability of transmitting A. Without loss of generality, it may be assumed that 1≦A≦∞, and 0≦B≦1, σ_{N} ^{2}≠0, and σ_{h} ^{2}≠0.

During each symbol interval, the receiver obtains imperfect CSI in the form of a channel estimate, ĥ_{k }and so equation (1) can be rewritten as

*y* _{k} *=√{square root over (E)}ĥ* _{k} *s* _{k} *+√{square root over (E)}{tilde over (h)}* _{k} *s* _{k} *+n* _{k }

where {tilde over (h)}_{k}=h_{k}−ĥ_{k }is the residual error in the channel estimate. Both the estimate and the residual error are assumed to be zero-mean Gaussian and independent, i.e., ĥ_{k}≈CN(0,{circumflex over (σ)}^{2}), {tilde over (h)}_{k}≈CN(0,{tilde over (σ)}^{2}) and {circumflex over (σ)}^{2}+{tilde over (σ)}^{2}=σ_{h} ^{2}. MMSE estimation schemes exist that satisfy these assumptions and one such PSAM-based scheme will be discussed later. A receiver may employ a soft decision ML decoder that treats s_{k }as the channel input and the pair (y_{k},ĥ_{k}) as the channel output. That is, letting s=(s_{1}, . . . , s_{N}) denote a transmitted codeword, and y=(y_{1}, . . . , y_{N}) and ĥ=(ĥ_{1}, . . . , ĥ_{N}) denote the observation and channel estimate during the span of a codeword, the decision rule maximizes the posteriori probability of the observation,

where Q is the set of all possible length N input sequences. It is useful to define the CSI quality as the normalized variance of the channel estimate at the receiver,

Note that w=0 denotes no CSI, while w=1 denotes perfect CSI.

The cutoff rate, measured in bits per channel use may be expressed by,

where Q(A)=p, Q(−B)=1−p, and where P(y_{k},ĥ_{k}|s_{k}) is the probability distribution function (pdf) of the received signal and channel estimate, conditioned upon the transmitted signal. In deriving the cutoff rate,

and the subscript k is omitted for brevity. Starting from equation (2), results in

Note that y|v,ĥ≈CN(√{square root over (E)}ĥv,E{tilde over (σ)}^{2}v^{2}+σ_{N} ^{2}) and similarly for y|w,ĥ, to result in

Following equation (2), the expectation of the above with respect to ĥ≈CN(0,{circumflex over (σ)}^{2}), yields

Dividing the numerator and denominator by σ_{N} ^{2 }and substituting the result into equation (2) yields

where C(p, A, B) is the constraint set on the input. Simple algebraic manipulation yields

where

is the constraint set on the input. The received SNR may then be defined as

The optimal binary input (p*, A*, B*) as a function of the CSI quality ω and SNR k is found from equation (3) through the minimization

The behavior of this input is shown in

Then the behavior of the optimal binary input is characterized by the following statements, R1, R2, R3.

R1. For small SNR (k<<1), if the CSI quality is below the

threshold (w<) then a solution resembling OOK with large amplitude is optimal. As k→0, lim

and B=0). However, if the CSI quality exceeds the

If w<

, consider the case where B=0. The low SNR cost function of equation (6) becomes

where

and where the energy constraint is used. The cost function becomes arbitrary large if p→0, with pA^{2}=1, provided φ(w)>0. Therefore, at low SNR and for w<

If w>

, it follows that 3w

The solution to equation (7) is any input of the form

where p_{0}ε(0,½┘. Next, using C_{p0 }as a candidate set of possible solutions, k is increased slightly, to consider the k term and determine which p_{0}ε(0,½┘ maximizes equation (18) when

Substituting C_{p0 }into the above, and removing irrelevant terms (note that p(1−p(A+B)^{2}=AB=1) for solutions in C_{p0}),

is solved, maximizing for p_{0}=½ (since 3w^{2}−6w+2<0). Therefore, the optimal input distribution is

or BPSK.

R2. For large SNR (k>>1), if (w<

), then from

where _{λB}(k)={1, if B=0,B√{square root over (k(1−w))}, if B≠0}. Note that J_{H}≧−p(1−p)≧−¼, with equality for A=√{square root over (2)},B=0, and p=½. Therefore, OOK(½) is optimal as k→0.

R3. The optimal transmission probability satisfies p*<½. A sketch of the proof entails letting

be an arbitrary triple with p>½. An alternative solution is

due to the energy constraint results in a smaller value of equation (4).

However, the cutoff rate can be seen to be well behaved around w=

inThe OOK cutoff rate for the fading channel can be derived with imperfect CSI and soft decision ML decoder. Consider first the no CSI case (w=0). OOK(p) modulation maximizes the cutoff rate at all SNR k, and so it remains to determine p*. Setting w=0, we seek to minimize equation (4) with the constraint set C(p, A, B). Let

be fixed, and let x=B^{2}. Using the energy constraint, the minimization problem becomes

It can be verified that ∂f(x)/∂x≧0 for xε[0,1] implying that equation (8) is minimized for x=B^{2}=0. Therefore when w=0, an On-Off keying solution is optimal. Setting

and w=0 in equation (4), p* is given by

Solving equation (9) yields p* explicitly (as the valid root of the fourth-order polynomial), and provides an easy characterization of the optimal transmission probability (equivalently, the optimal signal energy) as a function of the SNR. At low SNR (k<<1), the transmission probability is linear in SNR, with coefficient β, i.e.,

Returning now to the case of partial CSI, equation (3) yields the OOK cutoff rate for arbitrary o as

Analytic maximization of equation (11) over p leads to a high-order polynomial that does not have an explicit solution as a function of k and w. p* is plotted as a function of k in

which results in

which is decreasing for

As k increases, the amplitude A* decreases

From

In _{O,K }is plotted for p=p* and p=½ for no CSI (w=0), perfect CSI (w=1), and imperfect CSI (w=0.8). Note that the cutoff rate of both

and OOK (p*) approaches 1 at high SNR for any w.

Next, the case of perfect CSI is considered. Let w=1 in equation (4), which leads readily to the BPSK solution, A=B, and p=½. For arbitrary w, the cutoff rate of BPSK is

_{O,B}, and at high SNR, the cutoff rate saturates to

As expected, the cutoff rate is substantially zero when there is no CSI.

To study the relative impact of imperfect CSI on BPSK and OOK, it is instructive to consider the statistics of y_{k }under the two hypotheses:

*y* _{k} *|ĥ* _{k} *,s* _{k} *≈CN*(√*√{square root over (E)}ĥ* _{k} *,s* _{k},σ_{N} ^{2}(1+*s* _{k} ^{2} *k*(1−*w*)))

where s_{k}ε{−1,1} for BPSK and s_{k}ε{0,√{square root over (2)}} for OOK (½). When the SNR is large enough, i.e.,

the channel estimation error dominates, and the BPSK performance saturates. Thus, OOK is optimal at large k, and BPSK is optimal for small k. Next, the SNR at which one should switch from BPSK to OOK is quantified as a function of estimator quality w.

BPSK (optimal for perfect CSI) and OOK (optimal for no CSI) have been examined to provide the transitional SNR

, above which OOK is optimal, and below which BPSK is optimal. This result provides an initial characterization of the intermediate region where imperfect CSI is available, and provides an analytic basis for an adaptive modulation scheme in which the transmitter can select between OOK and BPSK based on the SNR k and CSI quality w available at the receiver. For OOK (½), the transitional SNR k is found by equation (14) and equation (13) and solving for k. Doing so yields the solution

for which the explicit solution is

with the definitions

The transitional SNR

In

The performance of the adaptive modulation schemes is shown in

(determined from equation (4)), and for the BPSK-only and OOK only schemes when k=0 dB. Each curve has been normalized by the cutoff rate of optimal binary signaling. The OOK

BPSK scheme simply traces out the best of the BPSK and OOK cutoff rates. The BPSK-only scheme performs arbitrarily poorly for small w (as expected due to its saturating behavior at large SNR, see

only scheme is seen to be suboptimal by up to ˜40 percent for large values of w. In contrast, the OOK(p*)-BPSK scheme performs nearly as well as optimal binary signaling over the entire range of w. To understand this behavior, the (k,w) plane is partitioned into three regions in

The sensitivity of the cutoff rate to the binary input used for four limiting cases entails: (a) large k(k=30 dB), large w(w=0.95) (b) small k(k=−10 dB), large w, (c) large k, small w(w=0.1), and (d) small k, small w.

For large w and for large k, the cutoff rate is sensitive to the choice of p, but not to the choice of B. For example, with B=1, the cutoff rate increases more than 300 percent as p increases from 0.1 to 0.5. On the other hand, with p=0.4, the cutoff rate increases by only 4 percent as B varies from 0 to 1. For large w and small k, the cutoff rate is sensitive to choice of both p and B. For example, with B=1, the cutoff rate increases by 280 percent as p increases from 0.1 to 0.5. With p=0.5, the cutoff rate increases by a factor of approximately 200 percent as B varies from 0 to 1.

For small w and both small and large k, the cutoff rate is sensitive to the choice of B when p is chosen optimally. When p is chosen suboptimally, sensitivity decreases. For example, at small k the cutoff rate increases by 400 as B increases from 0 to 1. At large k, the increase is 800 percent. In each case, sensitivity to B diminishes if p is chosen suboptimally. Overall, it is clear that optimization can provide large gains in the cutoff rate.

In an exemplary embodiment, a temporally correlated flat-fading channel is considered and the results of the analysis provided above are applied to the design of an adaptive modulation scheme for PSAM-based communications. In another exemplary embodiment, using PSAM-based communications, known pilot symbols are multiplexed with data symbols for transmission through the communications channel. At the receiver, knowledge of these pilots is used to form channel estimates, which aid the detection of the data both directly (by modifying the detection rule based on the channel estimate) and indirectly (e.g., by allowing for estimate-directed modulation, power control, and media access). In general, there is no guarantee that PSAM-based approaches are optimal, and PSAM has been shown to be suboptimal when the channel coherence time is small and/or the SNR is small from various perspectives. Nevertheless, the technique is of great practical significance. In addition to providing implementable receiver structures, PSAM facilitates accurate timing and synchronization. PSAM has been incorporated into many commercial and Military standards, and optimized approaches to PSAM have been studied from the perspectives of frequency and timing offset estimation, bit-error rate (BER), and the channel capacity or its bounds.

In an exemplary embodiment, a generalized Rayleigh fading channel according to equation (1) includes temporal correlation. The observation equation is

*y* _{k} *=√{square root over (E)}h* _{k} *s* _{k} *+n* _{k},

where h_{k}=CN(0,σ_{h} ^{2}) now exhibits temporal correlation described by the normalized correlation function

In an exemplary embodiment, training is sent with period T at times k=mT, mεZ and that s_{mT}=+1. In each data slot mT+l(1≦l≦T−1), an MMSE estimate of the channel ĥ_{mT+l }is made at the receiver using some subset N of past and future training symbol observations, so that

*ĥ* _{mT+l} *=E[h* _{mT+l} *|{y* _{nT} *}nεN* __⊂__ *Z], *1*≦l≦T−*1*, mεZ* (16)

The system equation in the mth frame i.e., mT≦k≦(m+1)T−1, is then

The use of an MMSE estimator implies that the estimate ĥ_{mT+l }and the estimation error {tilde over (h)}_{mt+l }are zero-mean, jointly Gaussian, and independent with variances {circumflex over (σ)}_{l} ^{2 }and σ_{h} ^{2}−{circumflex over (σ)}_{l} ^{2 }respectively; ĥ_{mT+l}≈CN(0,{circumflex over (σ)}_{l} ^{2}) and {tilde over (h)}_{mT+l}≈CN(0,σ_{h} ^{2}−{circumflex over (σ)}_{l} ^{2}). To characterize the partial CSI provided by the estimator l slots from the last-pilot, the CSI quality may be defined in the l^{th }slot

The CSI quality w_{l}, 0≦w, ≦1, captures the impact of the channel correlation R_{h}(τ), estimator N, and SNR k on the statistical quality of channel estimates at the receiver. The variance of any estimator can be found by noting that ĥ_{mT+l }is the expected value of one Gaussian vector conditional upon another. The CSI quality may then be readily obtained via equation (18).

Given the periodic nature of the training, it is natural to let the binary signaling scheme vary from data slot to data slot, with period T. Therefore, defining

mod T, s_{k }may be to be selected from a real-valued binary signal set S_{[k]}={A_{[k]}−B_{[k]}} subject to a unit average-energy constraint:

P_{[k]}A_{[k]+(}1−p_{[k]})B_{[k]} ^{2}=1, where p_{[k]} is the probability of transmitting A_{[k]} (note that S_{0}={+1}). A_{[k]} and B_{[k]} may be real-valued, and with 1≦A_{[k]}≦∞ and 0≦B_{[k]}≦1. Finally, codewords can occur in integers multiples of a frame length, i.e., N=n(T−1),n=1, 2, . . . , and are decoded using the ML decoder which treats s_{1}, . . . s_{T−1 }as the channel input and the pair (ĥ_{1}, . . . , ĥ_{T−1}; y_{1}, . . . , y_{T−1}) as the channel output.

In one embodiment, a system is implemented in which perfect interleaving is performed at the transmitter and channel estimation is performed before deinterleaving at the receiver. The system equation under interleaving is still given by equation (17), but now h_{k}≈CN(0,σ_{h} ^{2}) and n_{k}≈CN(0,σ_{N} ^{2}) are i.i.d. sequences representing the interleaved channel and noise. Interleaving implies that ĥ_{k }and {tilde over (h)}_{k }are independent sequences in k and are independent with respect to each other. However, the marginal statistics of the channel estimate and estimation error are preserved, i.e., ĥ_{mT+1}≈CN(0,σ_{h} ^{2}) and {tilde over (h)}_{mT+1}≈CN(0,σ_{h} ^{2}−σ_{l} ^{2}).

In one exemplary embodiment, the cutoff rate of a PSAM communications system with generalized binary inputs can be modeled by

is the constraint set on the l^{th }input.

Comparing the cutoff rate of the i.i.d. channel expressed in equation (3) to that of a PSAM system operating over the temporally correlated facing channel under interleaving expressed in equation (19), it is clear that the latter can be interpreted as consisting of T−1 parallel data-channels, where the l^{th }channel consists of all data slots occurring l positions after the most recent pilot. The l^{th }(1≦t≦T−1) term in the sum of equation (19) represents the cutoff rate in one of T−1 data channels, with CSI quality w_{l }and SNR k. Therefore, letting w=w_{l}, we can apply the previous analysis on a per-channel basis. This motivates design of a PSAM system in which the optimal binary distribution (A_{l}*, B_{l}*, p_{l}*) is used in each data channel. Next, the cutoff rate of equation (19) is combined with the earlier optimal input analysis to design adaptive modulation schemes in which the transmitter selects the modulation in each data slot based on the partial CSI w_{l }and SNR k at the receiver.

Adaptive transmission techniques for fading channels have been well studied. Typically, a subset of the key transmission parameters—power, rate, modulation shape and size, and bandwidth—is adapted based on some instantaneous measure of the channel quality, which may be determined by the fading, noise, or interference level at the receiver. This knowledge is typically provided to the transmitter via a feedback link, which introduces its own noise and/or delay to the process. However, when PSAM is employed over continuously time-varying fading channels, the transmitter need not adapt to instantaneous channel quality measurements, since it can adapt instead to the statistical quality of the channel estimates—which varies with the estimate's position relative to pilot symbols. Further, if the transmitter has knowledge of the channel Doppler spectra, R_{h}(τ), it can compute this statistical quality without requiring explicit feedback.

In an exemplary embodiment, an adaptive binary modulation scheme is developed based on the cutoff rate. The goal is to compare the performance of the simple two-distribution modulation techniques derived earlier to optimal binary signaling. Specifically, the following exemplary embodiments have resulted:

C1. An OOK

BPSK adaptive system in which equiprobable-OOK is used in each sub-channel where it is preferred to BPSK, and where BPSK is used otherwise. In this embodiment, the cutoff rate of this system is R_{HYB1}. This scheme is implemented through the analytic switching rule derived in equation (15).

C2. An OOK(p*)-BPSK adaptive system in which generalized-OOK is used in each sub-channel where it is preferred to BPSK, and where BPSK is used otherwise. In this embodiment, this cutoff rate is R_{HYB2}. This scheme is implemented using the solid curve shown in

C3. A preferred embodiment is optimal binary signaling, in which each data slot is assigned the cutoff rate optimal binary input as determined from equation (4). This may be computed numerically. The cutoff rate of this system is R_{BIN}. This scheme provides an upper bound on the performance of C1 and C2.

A comparative system is the BPSK-only system. The cutoff rate of this system is R_{BPSK}. This scheme provides a lower bound on the performance of C1 and C2.

Yet another comparative system is the OOK

only system which uses OOK

in each sub-channel. The cutoff rate of this system is R_{OOK}. This scheme also provides a lower bound on the performance of C1 and C2.

The adaptive modulation scheme, based on switching between just two inputs, captures the optimality of scheme C3 over a wide range of SNR, while requiring a fraction of the complexity. This switching may be oscillatory, e.g., producing a BPSK-OOK-BPSK or OOK-BPSK-OOK behavior, if w_{l }is non-monotonic in l. This may be the case is the channel correlation R_{h}(τ) is non-monotonic and/or a non-causal estimator is used.

The system may be simulated for performance analysis using two estimators. The causal (1,0) estimator N={m}, for which

and the non-causal (1,1) estimator N={m, m+1} for which

*w* _{l} ^{(1,1)}=(*K* ^{2} *+K*)(Γ_{(l)} ^{2}+Γ_{(T−l)})+2*K* ^{2} *R* _{h}(*T*)Γ_{(l)}Γ_{(T−l) }

The channel correlation may be described by the well-known Jakes model, for which R_{h}(τ)=J_{o}(2πf_{D}T_{D}τ), where J_{o}(.) is the zeroth-order Bessel function of the first kind, and where f_{D}T_{D }is the normalized Doppler spread. Let f_{D}T_{D}= 1/50, and T=7.

For small SNR, BPSK outperforms OOK

At high SNR, the reverse is true. The performance of the OOK(p*)-BPSK adaptive strategy is nearly identical to that of optimal binary signaling. Therefore, using only two types of inputs, BPSK and the OOK family, is nearly optimal. Limited to the OOK

BPSK scheme, performance is nearly identical to optimal binary signaling for moderate to high SNR. This implies that nearly optimal transmission can be achieved even under transmitter peak-to-average power ratio (PAPR) constraints, simply by switching between two constellations when the SNR is moderate to large (in this example, k>2 dB).

In

BPSK adaptive scheme.

To summarize, the cutoff rate for optimal binary inputs for the Rayleigh flat-fading channel with imperfect receiver CSI is analyzed. First, the cutoff rate is evaluated for i.i.d. fading as expressed with equation (3), and the optimal binary input is analyzed as a function of the CSI quality and SNR at the receiver. CSI quality threshold,

, characterizes the phase transition in the optimal input versus the CSI quality at low SNR. Next, the limiting distributions—BPSK and OOK are considered. Under OOK, equations (9), (10), and (12) show that the cutoff rate provides a simple characterization of the probability versus location of the non-zero mass point as a function of the CSI quality and SNR. A transitional SNR (see equation (15) andEmbodiments of the present disclosure can be implemented in hardware, software, firmware, or a combination thereof such as provided in

The flow charts of

The adaptive modulation program, which comprises an ordered listing of executable instructions for implementing logical functions, can be embodied in any computer-readable medium for use by or in connection with an instruction execution system, apparatus, or device, such as a computer-based system, processor-containing system, or other system that can fetch the instructions from the instruction execution system, apparatus, or device and execute the instructions. In the context of this document, a “computer-readable medium” can be any means that can contain, store, communicate, propagate, or transport the program for use by or in connection with the instruction execution system, apparatus, or device. The computer readable medium can be, for example but not limited to, an electronic, magnetic, optical, electromagnetic, infrared, or semiconductor system, apparatus, device, or propagation medium. More specific examples (a nonexhaustive list) of the computer-readable medium would include the following: an electrical connection (electronic) having one or more wires, a portable computer diskette (magnetic), a random access memory (RAM) (electronic), a read-only memory (ROM) (electronic), an erasable programmable read-only memory (EPROM or Flash memory) (electronic), an optical fiber (optical), and a portable compact disc read-only memory (CDROM) (optical). Note that the computer-readable medium could even be paper or another suitable medium upon which the program is printed, as the program can be electronically captured, via for instance optical scanning of the paper or other medium, then compiled, interpreted or otherwise processed in a suitable manner if necessary, and then stored in a computer memory. In addition, the scope of the present disclosure includes embodying the functionality of the preferred embodiments of the present disclosure in logic embodied in hardware or software-configured mediums.

It should be emphasized that the above-described embodiments of the present disclosure, particularly, any “preferred” embodiments, are merely possible examples of implementations, merely set forth for a clear understanding of the principles of the disclosure. Many variations and modifications may be made to the above-described embodiment(s) of the disclosure without departing substantially from the spirit and principles of the disclosure. All such modifications and variations are intended to be included herein within the scope of this disclosure and the present disclosure and protected by the following claims.

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Classifications

U.S. Classification | 375/329, 329/304 |

International Classification | H04L27/22, H03D3/00 |

Cooperative Classification | H04L1/0019, H04L25/0212, H04L1/0003 |

European Classification | H04L1/00A8S |

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